Seung Kim

Last updated
2 weeks ago
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Where they hold approval

Firms where this individual holds — or has held — an FCA-approved role.

  • MIRAE ASSET SECURITIES (UK) LTD.

    FRN 149240

    • Director of firm who is not a certification employee or a SMF manager (since 19 Mar 2025)
    • [FCA CF] Material risk taker (23 Mar 2023 to 19 Mar 2025)
    • SMF9 Chair of the Governing Body (21 Jan 2021 to 26 Dec 2024)
    • SMF1 Chief Executive (9 Dec 2019 to 26 Dec 2024)
    • SMF16 Compliance Oversight (9 Dec 2019 to 26 Dec 2024)
    • SMF3 Executive Director (9 Dec 2019 to 26 Dec 2024)
    • CF10 Compliance Oversight (26 May 2017 to 8 Dec 2019)
    • CF1 Director (26 May 2017 to 8 Dec 2019)
    • CF28 Systems and controls (26 May 2017 to 8 Dec 2019)
    • CF3 Chief Executive (2 Oct 2012 to 24 Jan 2014)
    • CF30 Customer (3 Nov 2009 to 24 Jan 2014)
  • GTX UK LLP (no longer approved here)

    FRN 531505

    • SMF27 Partner (14 Nov 2023 to 1 Dec 2023)
    • SMF1 Chief Executive (14 Nov 2023 to 1 Dec 2023)

Recent activity

Updates to this individual's record on the FCA register.

No changes recorded yet.